0001437749-23-025503.txt : 20230908 0001437749-23-025503.hdr.sgml : 20230908 20230908170120 ACCESSION NUMBER: 0001437749-23-025503 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230906 FILED AS OF DATE: 20230908 DATE AS OF CHANGE: 20230908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wagner Thomas A. CENTRAL INDEX KEY: 0001517260 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 231245985 MAIL ADDRESS: STREET 1: 66 WEYRICK ROAD CITY: TROY STATE: NY ZIP: 12180 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADWIND, INC. CENTRAL INDEX KEY: 0001120370 STANDARD INDUSTRIAL CLASSIFICATION: NONFERROUS FOUNDRIES (CASTINGS) [3360] IRS NUMBER: 880409160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 BUSINESS PHONE: 708-780-4800 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 FORMER COMPANY: FORMER CONFORMED NAME: BROADWIND ENERGY, INC. DATE OF NAME CHANGE: 20080304 FORMER COMPANY: FORMER CONFORMED NAME: TOWER TECH HOLDINGS INC. DATE OF NAME CHANGE: 20060210 FORMER COMPANY: FORMER CONFORMED NAME: BLACKFOOT ENTERPRISES INC DATE OF NAME CHANGE: 20000726 4 1 rdgdoc.xml FORM 4 X0508 4 2023-09-06 0001120370 BROADWIND, INC. BWEN 0001517260 Wagner Thomas A. 3240 S. CENTRAL AVENUE CICERO IL 60804 1 0 Common Stock 2023-09-06 4 S 0 10000 3.9926 D 83683 D This transaction was executed in multiple trades at prices ranging from $3.98 to $4.04; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, the Company, or a security holder of the Company. Includes 12,165 restricted stock units that vest on 5/25/24. /s/ Thomas A. Ciccone as Attorney-in-Fact for Thomas A. Wagner pursuant to Power of Attorney previously filed 2023-09-08